| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| UBS DERIVATIVES HONG KONG LIMITED | Rep | 期货合约交易 | 2010-03-02 | 2011-05-03 |
| UBS SECURITIES ASIA LIMITED | Rep | 期货合约交易 | 2010-03-02 | 2011-05-03 |
| Rep | 证券交易 | 2010-03-02 | 2011-05-03 | |
| UBS SECURITIES HONG KONG LIMITED | Rep | 证券交易 | 2010-03-02 | 2011-05-03 |
| Cowen Structured Products Hong Kong Limited | RO | 证券交易 | 2006-10-20 | 2007-03-09 |
| Interactive Brokers Hong Kong Limited | Rep | 就机构融资提供意见 | - | 2003-12-31 |
| Rep | 就证券提供意见 | - | 2003-12-31 | |
| Rep | 提供资产管理 | - | 2003-12-31 | |
| Rep | 证券交易 | - | 2003-12-31 |